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Detailed Report
ARNOLD R. ALDUS
ARNOLD RAYMOND ALDUS
CRD#: 2639250
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 23781 WASHINGTON AVE
MURRIETA, CA 92562
Registration History
19952000200520102015202020252 FIRMS2012 - Present (13 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)1997 - 2010 (13 years)BCENTAURUS FINANCIAL, INC. (CRD# 30833)1996 - 1997 (1 year)BWALL STREET FINANCIAL GROUP, INC. (CRD# 35830)1997 - 1997 (<1 year)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1995 - 1995 (<1 year)IAMML INVESTORS SERVICES, INC. (CRD# 10409)2001 - 2010 (8 years)
License(s)

State Registrations

B
Arizona 7/26/2016
B
Oregon 10/6/2016
B
California 2/21/2012
B
South Dakota 10/3/2024
IA
California 2/21/2012
B
Tennessee 10/31/2023
B
Florida 7/12/2016
B
Texas 8/1/2016
B
Kentucky 1/19/2021
IA
Texas 8/15/2016
B
Massachusetts 11/5/2024
B
Utah 1/20/2021
B
Nevada 7/18/2016
B
Washington 1/6/2020
B
Ohio 8/25/2020

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
23781 WASHINGTON AVE, MURRIETA, CA 92562
39398 LOS ALAMOS RD, MURRIETA, CA 92563
Registered with this firm since 2/21/2012
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
23781 WASHINGTON AVE, MURRIETA, CA 92562
39398 LOS ALAMOS RD, MURRIETA, CA 92563
Registered with this firm since 2/21/2012
Previous Registration(s)
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IA
 07/02/2001 - 06/09/2010 MML INVESTORS SERVICES, INC. (CRD#:10409) MURRIETA, CA
B
 06/24/1997 - 06/09/2010 MML INVESTORS SERVICES, INC. (CRD#:10409) MURRIETA, CA
B
 02/24/1996 - 06/25/1997 CENTAURUS FINANCIAL, INC. (CRD#:30833) ANAHEIM, CA
B
 03/27/1997 - 06/12/1997 WALL STREET FINANCIAL GROUP, INC. (CRD#:35830) VICTOR, NY
B
 07/26/1995 - 10/30/1995 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.